DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

C••• M•••••• K•••••••••

E••• W••••• S••••••••• L••state registeredGilbert, Az IA-onlyIAPD 4915131

Feed of 09/14/2026

At current firm

2 y

since Nov 16, 2023

In the industry

21 y

since Apr 27, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••• W••••• S••••••••• L•• state registered current
since Nov 16, 2023 · Spring, Tx
C••••• A•••••• N••••••• L•• former
Feb 4, 2019 to Aug 8, 2019 · Gilbert, Az
C••• L•• BD affiliated
Feb 4, 2019 to Nov 2, 2023 · Scottsdale, Az
L•• F•••••••• L•• BD affiliated
Oct 22, 2008 to Feb 26, 2019 · Gilbert, Az
S••••••••• C•••••• A••••••• C••••••••• state registered
Jan 4, 2007 to Nov 17, 2008 · S••••••••• Az, Az
A••••••••• F•••••••• S•••••••• L•• national BD
May 13, 2005 to Dec 14, 2006 · East Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C••• L•• to E••• W••••• S••••••••• L••
left Nov 2, 2023, registered Nov 16, 2023 (14 days) · Affiliated broker-dealer or bank to a state-registered adviser
C••••• A•••••• N••••••• L•• to C••• L••
left Aug 8, 2019, registered Feb 4, 2019 (-185 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to C••••• A•••••• N••••••• L••
left Feb 26, 2019, registered Feb 4, 2019 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
S••••••••• C•••••• A••••••• C••••••••• to L•• F•••••••• L••
left Nov 17, 2008, registered Oct 22, 2008 (-26 days) · Other
A••••••••• F•••••••• S•••••••• L•• to S••••••••• C•••••• A••••••• C•••••••••
left Dec 14, 2006, registered Jan 4, 2007 (21 days) · Affiliated broker-dealer or bank to a state-registered adviser

Signals

C••• M•••••• K••••••••• left C••• L•• for E••• W••••• S••••••••• L•• (registered 2023-11-16)
Nov 2, 2023 · a•••••• firm change · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address